Broker-Dealers Articles

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GAO: Higher Returns Needed To Save Forgotten 401(k)s From Fee Erosion

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Higher-return investments are needed to keep abandoned 401(k)s from being eaten up by fees before their participants or their heirs remember them, says the investigative arm of Congress.

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Site Tried To Sell Revealing Data On Individual Brokers To Major Wirehouses

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AdvisorHUB has collected detailed data about what brokers read on its site and tried to sell that information to major B-Ds, saying they could tell such things as whether a broker was looking for...

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Nicholas Schorsch And Other Top Execs Resign From American Realty Capital

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Three top executives resigned from American Realty Capital Properties Inc., the U.S. real estate investment trust that has lost more than a quarter of its value since disclosing accounting errors.

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Merrill Raises Broker Bonuses, Eliminates Pay On Small Accounts

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Merrill Lynch told its 14,000 brokers they will get higher bonus payments in 2015 for attracting new clients and assets but eliminated pay for servicing clients with less than $250,000.

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Raymond James Recruits $900M Team; Plants Flag In Manhattan

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Raymond James & Associates, which has been working to increase its presence on both U.S. coasts the past two years, has finally planted its flag in the nation’s financial capital.

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Goldman Ordered To Pay Two Brokers $7.6 Million For Wrongful Termination

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A Finra panel has ordered Goldman Sachs to pay two brokers $7.6 million, more than the men sought, in a wrongful termination case.

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Wells Fargo Lands Big Broker Team From UBS

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Wells Fargo Advisors hired a Chicago-area team of brokers away from rival UBS's wealth management unit, where they managed $463 million in client assets.

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Military Retirement Plan Changes Gains Support

by FA Staff

More middle-class military families now support proposed changes to their retirement system.

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Finra Chief: No Interest In Overseeing FAs Despite Feeler From House GOP Leaders

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Finra Chairman and CEO Rick Ketchum said a feeler from Republican House Financial Services Committee leaders won’t restart a Finra push to oversee financial advisors.

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Raymond James Recruits $535 Million Team From Merrill Lynch

by FA Staff

The Spanos Group will open RJA’s first office in western Pennsylvania.

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